SEC Notice (5 March 2010)
REDUCTION OF COPIES OF REPORTS AND OTHER FILINGS WITH THE SECURITIES & EXCHANGE COMMISSION
(NAR) VOL. 21 NO.1/ JANUARY - MARCH 2010
[ SEC NOTICE, March 05, 2010 ]
RE: REDUCTION OF COPIES OF REPORTS AND OTHER FILINGS WITH THE SECURITIES & EXCHANGE COMMISSION
In line with the objectives of the Anti-Red Tape Act of 2007 and, by way of contribution to the government’s efforts to protect the environment, the Securities and Exchange Commission will, effective March 15, 2010, reduce the number of copies of reports and other filings by reporting corporations with the Commission (exclusive of the filer’s receiving copy) as follows:
1. Filings with the Company Registration and Monitoring Department: Applications for registration of Articles of Incorporation (AOI)/Articles of Partnership (AOP); By-laws; Amendments of AOI/AOP and By-laws; mergers; licenses of foreign corporations, regional headquarters and regional operating headquarters; General Information Sheet (GIS) and Financial Statements ------------------ 3 copies 2. Filings with the Corporation Finance Department:
A. LISTED AND PUBLIC COMPANIES _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form 12-1 Registration Statement SEC Form 17-A Annual Report SEC Form 17-Q Quarterly Report SEC Form 17-C Current Report SEC Form 17-L Notification of Inability to File Form 17-A or 17-Q SEC Form 17-EX Notification of Suspension of Duty to File Reports Under Sec. 17 of the Securities Regulation Code SEC Form 20-IS Information Statement SEC Form 23-A Initial Statement of Beneficial Ownership SEC Form 23-B Statement of Changes in Beneficial Ownership Secretary’s Certificate of Attendance of Directors Certificate of Compliance with the Revised Code of Corporate Governance SEC Form 18-A Report of 5% Beneficial Ownership SEC Form 18-AS Report of 5% Institutional Buyer SEC Form 19.1 Tender Offer Report _____________________________________________________________________________________________________________________________ B. FINANCING COMPANIES _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form FCFS Semi-Annual Reports SEC Form FCIF Special Form for Audited Financial Statements Corporate Secretary’s Certification on directors’ attendance in board meetings Compliance Officer’s Certification on extent of compliance with the Revised Code of Corporate Governance Revised Code of Corporate Governance Corporate Governance Scorecard AMLA Manual on Anti-Money Laundering AMLA Compliance Form _____________________________________________________________________________________________________________________________
C. LENDING COMPANIES
_____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form LCIF Semi-Annual Reports SEC Form LCFS Special Form for Audited Financial Statements (LCFS) _____________________________________________________________________________________________________________________________
D. COMMERCIAL PAPERS ISSUERS
_____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ CPAIN Information Statement _____________________________________________________________________________________________________________________________3. Filings with the Market Regulation Department:
A. TRANSFER AGENTS _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form 36-AR Annual Report SEC Form 36-FS Annual Audited Financial Statement SEC Form 36-ER Exception Report SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of the Directors _____________________________________________________________________________________________________________________________ B. EXCHANGES _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form 33-A Amendment Form for Exchanges SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of Directors Exchange’s report on Block Sales Broker/Dealer’s report on transactions/trading of PSE shares _____________________________________________________________________________________________________________________________
C. SELF REGULATORY ORGANIZATIONS
_____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form 33-SRO Amendment Form for Exchanges Exchange’s Report on Ceiling and Floor Alerts Exchange’s Audit Calendar Exchange’s monthly report on periodic examination Exchange’s monthly report on dockets of Examinations and Investigations being conducted by the Exchange Exchange’s Semi-Annual Report on listed and delisted/suspended issues _____________________________________________________________________________________________________________________________
D. CLEARING AGENCIES
_____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form 42-CA Registration Form/Amendment Form for Clearing Agencies SEC Form 42-FS Annual Audited Financial Statements SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of Directors Clearing Agency’s report on Breaches of Rules or Difficulties of Participants _____________________________________________________________________________________________________________________________ E. INVESTMENT HOUSES/UNDER WRITERS OF SECURITIES _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC FORM IH-14 QPR Quarterly Progress Report SEC Form IH-14 AR Annual Report SEC Form IH/U-IA Report on any change/s in the information contained in SEC Form IH/U-IA SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of Board of Directors Risk Based Capital Adequacy Report SEC Form 28-T Notice of Termination of Salesman and/or Associated Person SEC Form BD-30.2 QCR Associated Person’s Quarterly Compliance Report SEC Form 28-S Amendment/Changes in the Information contained in SEC Form 28-S SEC Form 28-CO/AP Amendment/Changes in the Information contained in SEC Form 28-CO/AP _____________________________________________________________________________________________________________________________ F. INVESTMENT COMPANY ADVISERS _____________________________________________________________________________________________________________________________Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form ICA-IA Registration Form/Amendment Form for Investment Company Advisers SEC Form ICA-CIS Amendment/Changes in the information contained in SEC Form ICA-CIS SEC Form ICA-CO/AP Amendment/Changes in the Information contained in SEC Form CO/AP SEC Form ICA-T Notice of Termination of Salesman and/or Associated Person SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of Directors _____________________________________________________________________________________________________________________________ G. MUTUAL FUND DISTRIBUTORS _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form MFD Registration Form/Amendment Form for Mutual Fund Distributors SEC Form ICA-T Notice of Termination of Salesman and/or Associated Person _____________________________________________________________________________________________________________________________ H. GOVERNMENT SECURITIES ELIGIBLE DEALERS _____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of Directors Risk Based Capital Adequacy Report SEC Form 28-BDA Amendment Form for Government Securities Eligible Dealer SEC Form 28-T Notice of Termination of Salesman and/or Associated Person SEC Form BD-30.2 QCR Associated Person’s Quarterly Compliance Report SEC Form 28-S Amendment/Changes in the Information contained in SEC Form 28-S SEC Form 28-CO/AP Amendment/Changes in the Information contained in SEC Form 28-CO/AP _____________________________________________________________________________________________________________________________
I. BROKER/DEALER(S) IN SECURITIES
_____________________________________________________________________________________________________________________________ Form Type DESCRIPTION _____________________________________________________________________________________________________________________________ SEC Form MCG-2002 Certificate of Compliance with the Revised Code of Corporate Governance Certificate of Attendance of Directors in meetings of the Board of Directors Risk Based Capital Adequacy Report SEC Form 30.1 Report on Monitoring of Affiliated Transactions of Brokers and Dealers SEC Form BD-30.2 QCR Associated Person’s Quarterly Compliance Report SEC Form 28-S Amendment/Changes in the Information contained in SEC Form 28-S SEC Form 28-CO/AP Amendment/Changes in the Information contained in SEC Form 28-CO/AP _____________________________________________________________________________________________________________________________ 4. Filings and pleadings filed with the Office of the General Counsel:
a) Request for Opinion--------------------------------------------------------1 copy b) En Banc cases--------------------------------------------------------------2 copies c) Complaints and other cases One respondent---------------------------------------------------------2 copies Two or more respondents-----------------------------------------------2 copies per respondent All other reports and filings with the Commission that are not included in the enumeration above shall be in the same number of copies as presently in effect. Please be guided accordingly. Adopted: 05 March 2010
(SGD.) FE B. BARIN Chairperson